1、AASHTO Center for Environmental Excellence Using an Environmental Management System to Meet Transportation Challenges and Opportunities An Implementation Guide American Association of State Highway and Transportation Officials Using an Environmental Management System to Meet Transportation Challenge
2、s and Opportunities An Implementation Guide Prepared by: AASHTO Center for Environmental Excellence David Soltis, TechLaw, Inc. American Association of State Highway and Transportation Officials 2003 AASHTO Center for Environmental Excellence Table of Contents 1.0 INTRODUCTION. 1 2.0 AN EMS THE RIGH
3、T THING TO DO 2 2.1 DOT Challenges. 2 2.2 DOT Opportunities . 2 2.3 Benefits of an EMS 3 2.4 An EMS What is it? . 4 2.5 Using an EMS to Meet DOT Challenges and Opportunities 5 2.6 EMS Key Points . 7 3.0 DEVELOPING AND IMPLEMENTING A DOT EMS 9 3.1 EMS Overview 9 3.2 The Basic Framework 9 3.3 Applying
4、 the PDCA Framework to DOTs. 11 3.4 The EMS Process Roadmap .12 3.5 Using the EMS Process Roadmap 12 4.0 EMS SPECIFICS FOR A DOT 21 5.0 DOT EMS INFORMATION 22 5.1 EMS Benchmarking Survey . 22 5.2 EMS Implementation Status 23 5.3 DOT EMS Experiences 23 5.4 EMS Information Network 24 5.5 DOT EMS Lesso
5、ns Learned 28 5.6 Closing Remarks 29 ATTACHMENTS Attachment 1 Applying the EMS Process Roadmap to DOT Activities/Locations. 31 Template No. 1. EMS Template for NEMA and Permitting Process 35 Template No. 2. EMS Template for Construction Inspection . 43 Template No. 3. EMS Template for Instructions a
6、nd Procedures 53 Template No. 4. EMS Template for Stockpile and Garage Operations . 55 Template No. 5. EMS Template for Roadway Maintenance 63 Template No. 6. EMS Template for Rest Areas. 71 Attachment 2 DOT EMS Case Studies 79 Case Study #1. Florida DOT 83 Case Study #2. Texas DOT 95 Case Study #3.
7、 Maryland SHA. 119 Case Study #4. Washington State DOT. 127 Case Study #5. Maine DOT 133 Case Study #6. Massachusetts Highway Department . 147 Case Study #7. New Hampshire DOT 175 Case Study #8. New York DOT 189 Case Study #9. Pennsylvania DOT 207 2003 AASHTO Center for Environmental Excellence 1 1.
8、0 INTRODUCTION This Guide addresses the goals listed below in Sections 2.0 through 5.0. Following are the goals and brief descriptions of the information provided in each section to address each goal. Challenges and Opportunities Improve transportation program delivery and foster environmental stewa
9、rdship through environmental management. Section 2.0, An EMS The Right Thing to do Describes the environmental and program delivery challenges that DOTs face, Discusses environmental opportunities that DOTs can use to meet their challenges, Highlights benefits that DOTs have realized as a result of
10、implementing an EMS, Introduces the concept of an EMS, and Shows how an EMS can be used to meet the challenges and realize environmental opportunities. EMS Overview Introduce State DOTs to environmental management systems (EMSs) and provide EMS information and tools. Section 3.0, Developing and Impl
11、ementing a DOT EMS Introduces the concepts behind an EMS, and Presents a step-by-step EMS Process Roadmap along with instructions that a DOT can use to develop and implement an EMS. An EMS DOT “How tos” Build on existing environmental management initiatives within a DOT, learn to conduct a gap analy
12、sis, and recognize that a DOT need only to implement the system in part of their organization to achieve some success Section 4.0, EMS Specifics for a DOT Provides a series of templates, based on the EMS Process Roadmap, that DOTs can use to develop and implement EMSs in planning, design, constructi
13、on, and operations and maintenance activities or facilities. These templates contain suggested detailed step-by-step instructions. DOT EMS Information Provide information on the current status of State DOT EMS efforts and form a State DOT EMS network for ongoing sharing of information. Section 5.0,
14、DOT EMS Information Presents the results of a DOT EMS benchmarking survey conducted by AASHTO in conjunction with preparing this Guide. The results include the current status of EMS implementation efforts in state DOTs and, in particular, contact information that transportation professionals in DOTs
15、 across the US can use to develop their own information network. 2003 AASHTO Center for Environmental Excellence 2 2.0 AN EMS THE RIGHT THING TO DO 2.1 DOT Challenges Federal, State, and local transportation professionals face a variety of challenges that both affect and are affected by a multitude
16、of environmental concerns. Without minimizing the importance of specific issues, these challenges can be summarized as: Program Delivery Meeting public transportation demands as fast as possible while coping with diminishing resources and conforming to complex and extensive regulation. There are mor
17、e than 70 laws and regulations which affect DOT activities and operations. Environmental Stewardship While fulfilling program delivery, demonstrate to the public, elected officials, and regulators that DOT employees maintain and improve the environment. 2.2 DOT Opportunities During the implementatio
18、n of a DOTs programs, DOT personnel are presented with opportunities to enhance environmental protection as well as improve operations while meeting the challenges described above in Section 2.1. These opportunities go beyond environmental protection to include: Using resources efficiently, both cap
19、ital and human; Improving project schedules; and Capturing and disseminating institutional knowledge and initiatives that may reside within one individual or group. “Our customers demand that our projects and activities fit, look good, have balance, and are sensitive to the human and natural environ
20、ment. Therefore, we must continue to change our culture to one that has an environmental ethic and assumes an environmental stewardship role. It is the correct approachthe right thing to dothe common sense thing to do, and our customers deserve this type of treatment.” Secretary James C. Codell, III
21、 An EMS offers the means for a DOT to meet its challenges and opportunities and optimize the relationship between environmental actions and decisions and its operational and management decisions. 2003 AASHTO Center for Environmental Excellence 3 2.3 Benefits of an EMS State DOTs that have implemente
22、d EMSs in various parts of their organizations have realized a variety of benefits, including: Cost savings/cost avoidance and improved use of available resources, Regulatory oversight eased as regulatory agencies gain confidence in a DOTs environmental management processes, and More timely regulato
23、ry reviews. The following sections of this guide explain an EMS and provide details on how to implement an EMS. Exhibit 2-1 presents examples of DOT EMS benefits; additional details are provided in Attachment 2 DOT EMS Case Studies. These Case Studies also describe other EMS benefits and provide inf
24、ormation on the resources needed to implement EMSs by these DOTs. Exhibit 2-1 EMS Benefits from DOTs Protect our environmental legacy. During the PENNDOT ISO 14001 registration, a PENNDOT employee summarized his role in environmental stewardship in the following comment to the ISO Registrar: “Ive wo
25、rked here for more than 20 years. We never did this before but that doesnt mean we were right. This is what I want to do for my children and grandchildren.” Save money, avoid costs, and reduce resource consumption. New Hampshires Traffic Bureau EMS provided the consistent, structured process to iden
26、tify previously unrecognized requirements and opportunities for operational improvements. One such improvement (waste separation) has provided savings of $25,000 per year. The Massachusetts EMS provides the means to identify and correct compliance issues and maintain a focus on compliance. This EMS
27、has helped to significantly reduce the potential for and cost of fines. Pennsylvanias procedures and practices for erosion and sedimentation control provide an estimated 2 weeks of work crew and equipment productivity across an Engineering District at no increase in cost. This translates to cost avo
28、idance of $25,000/year for District labor and equipment. Pennsylvanias environmental management program provided the basis for reducing monitoring and oversight burdens and, in turn, the associated costs. Texas Pollution Prevention and Abatement (PPA) compliance audits identify issues that can be co
29、rrected before additional costs are incurred and opportunities that provide resource consumption and waste materials savings. 2003 AASHTO Center for Environmental Excellence 4 Ease the burden of regulatory oversight Marylands Stormwater Management Program procedures and processes helped it to obtain
30、 one of the first NPDES Municipal Separate Storm Sewer System Permits issued to a DOT. This permit incorporates features that ease compliance and oversight burdens. Pennsylvanias environmental management program was recognized as best management practices by Department of Environmental Protection (D
31、EP) regional staff. This recognition led to eased oversight, monitoring, and permitting requirements. Texas relationships with regulators have been improved through the implementation of its design, construction, and operational environmental management processes. The improved relationships with reg
32、ulators has helped to ease oversight burdens (in terms of both time and resources). Improve review cycles. Floridas Efficient Transportation Decision Making (ETDM) Process has significantly shortened the time required for transportation project reviews by the public and regulators and approvals prov
33、ided by regulators. Project alternatives are identified and screened much earlier in the project cycle. Pennsylvanias EMS efforts (beginning in one Engineering District) to enhance consistency and planning in habitat assessments have improved relationships with and eased oversight of US Fish and Wil
34、dlife Services staff. 2.4 An EMS What is it? The definition of each word within the term “EMS” provides insight into what an EMS is and gives a foundation for subsequent discussion. Each word is defined as follows: ENVIRONMENTAL One definition states, “pertaining to the complex of physical, chemical
35、, and biotic factors that act upon an organism or an ecological community.” In the context of this manual, environmental considerations include pollution prevention and compliance with environmental regulatory requirements. MANAGEMENT One definition states the “judicious use of means to accomplish a
36、n end.” SYSTEM Definitions include “an organized or established procedure” and “an organized set of doctrines, ideas, or principles.” A MANAGEMENT SYSTEM may, therefore, include an organizational structure with defined responsibilities and procedures. Please Note: there is a difference between manag
37、ement system tools and management system components (e.g., an information system is a tool to support management system responsibilities, procedures, and responsibilities. 2003 AASHTO Center for Environmental Excellence 5 Consolidating these definitions and the concepts behind each leads us to the E
38、MS definition that will be used throughout and forms the basis for the information and suggestions presented in the Guide. 2.5 Using an EMS to Meet DOT Challenges and Opportunities As illustrated in Exhibit 2-2, an EMS provides the structure (i.e., the system) to help a DOT 2.5 Using an EMS to Meet
39、DOT Challenges and Opportunities As shown in Exhibit 2-2, an EMS provides the structure (i.e., the system) to help a DOT: Understand and make best use of the environmental/operational relationships, To meet its challenges and opportunities. Exhibit 2-2 The EMS Interface ENVIRONMENTAL MANAGEMENT SYST
40、EM An EMS may be considered as the organizational structure and associated responsibilities and procedures to integrate environmental considerations and objectives into the ongoing management decision-making processes and operations of an organization. Integrated Approach to the EnvironmentA SYSTEM
41、With procedures, processes, and tools. An EMS Challenges Opportunities 2003 AASHTO Center for Environmental Excellence 6 This system (the EMS) consists of planning, operational, and review procedures, processes and tools that incorporate various features and benefits as described below: Exhibit 2-3
42、EMS Features, Benefits, and Relevance EMS Features Associated Benefits and Relevance to a DOT Needs Identification Framework An EMS offers the step-by-step process (i.e., framework) to identify, characterize (e.g., resource needs, time required, and expected results), and prioritize DOT environmenta
43、l as well as operational and management challenges and opportunities. Solution Identification Framework Provides a DOT with the framework to identify specific best practices, both within the DOT and in other DOTs, which can help meet identified needs. Consistency EMS procedures, processes, and tools
44、 establish the instructions and expectations to be followed by all personnel involved in an identified activity or function, from simple day-to-day efforts to senior management reviews and decision-making. Repeatability The consistency of EMS procedures, processes, and tools helps to ensure that suc
45、cesses are reproduced (wherever an activity or function is located throughout a state) and that problems are not replicated (i.e., lessons learned are captured). Adaptability and Flexibility The EMS process described in this Guide is designed to: support the goals and typical operations of a DOT, ad
46、dress the needs and constraints of a DOT, and be useable by DOT organizational units from a handful of employees to hundreds of employees. Integration with Existing Initiatives The EMS process outlined in this Guide recognizes that the success of any new undertaking depends on avoiding change for th
47、e sake of change. Therefore, the EMS includes steps to identify existing initiatives, programs, and successes on which EMS procedures, processes, and tools can build. Involvement of All Affected Employees The EMS process also incorporates steps calling for the identification of all employees, regard
48、less of position, who could be involved in or affected by EMS procedures, processes, and tools. Involvement of all affected by an EMS promotes environmental ownership and stewardship. Easily Understood The EMS process outlined herein also includes steps to develop EMS-related instructions and traini
49、ng that are relevant and limited to the information which an employee needs to know. Simplicity facilitates employee ownership. Provide Measurable Performance The EMS process described in this Guide also includes actions to identify and examples of performance measures that can be used to track progress and determine success. These measures of success can then be used to promote further management “buy-in” and, quite importantly, demonstrate to regulators and t
